DS
Dwight A. Spence
ONEAMERICA SECURITIES
Scottsdale, AZ 85260
Some features on this profile are disabled
CRD#: 1442606
DS
Professional summary
Dwight Arnold Spence, CFP® is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Scottsdale, Arizona.
Dwight is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Dwight has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Non-variable insurance sales (fixed life, fixed annuities, health)**Owner: Spence Cassidy & Associates, LLC - insurance agency**Owner: 4550 N. Mule Crossing, LLC - rental property**Owner: Spence Financial, Inc. - insurance sales
CRS (Client Relationship Summary) - RIA
Click below to view Dwight Arnold Spence's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dwight Arnold Spence's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1993
Experience
Current
February 17, 2009 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 9375 E Shea Blvd Suite 114, Scottsdale, AZ 85260RIA
BD
CRD#: 4173
Scottsdale, AZ
Current
January 28, 2009 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 9375 E Shea Blvd Suite 114, Scottsdale, AZ 85260RIA
BD
CRD#: 4173
Scottsdale, AZ
Past
September 12, 2006 - January 6, 2009
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SCOTTSDALE, AZ
Past
August 25, 2006 - January 6, 2009
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SCOTTSDALE, AZ
Past
January 31, 2002 - August 22, 2006
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
PHOENIX, AZ
Past
May 3, 1999 - August 22, 2006
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
PHOENIX, AZ
Past
August 16, 1996 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
May 12, 1993 - August 9, 1996
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
August 28, 1989 - May 13, 1993
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
August 24, 1987 - September 1, 1989
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ONEAMERICA SECURITIES, INC.
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.
CRD#: 4173 / SEC#: 801-56819, 8-15009
RIA
Registered Investment Advisory firm - SEC (9/13/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/28/2009)
IAR
Arizona(2/17/2009)
RR
California(3/12/2013)
IAR
California(6/30/2020)
RR
Colorado(2/21/2017)
RR
Florida(12/19/2022)
IAR
Florida(12/19/2022)
RR
Montana(11/1/2023)
RR
Tennessee(3/4/2022)
RR
Texas(6/22/2021)
IAR
Texas(6/22/2021)
RR
Washington(12/17/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ONEAMERICA SECURITIES, INC.
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.
CRD#: 4173 / SEC#: 801-56819, 8-15009
RIA
Registered Investment Advisory firm - SEC (9/13/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One American Square, Indianapolis, IN 46282
Mailing Address
One American Square P.o. Box 1984, Indianapolis, IN 46206-1984
Phone number
(317) 285-1877
Established
Indiana since 06/04/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
326
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN UNITED LIFE INSURANCE COMPANY | PARENT | |
| BICKEL, KORY LLOYD | CHIEF COMPLIANCE OFFICER | 5424722 |
| CAYETANO, NICHOLAS ADAM | AML OFFICER | 7237505 |
| FLEETWOOD, MATTHEW THOMAS | CHAIRMAN OF THE BOARD/PRESIDENT/CEO/DIRECTOR | 4109266 |
| HARTLEY, BRYAN KEITH | FINOP | 5664171 |
| HOYLE, JASON ANDREW | DIRECTOR | 6027238 |
| JUNKER, DAVID A | DIRECTOR | 2442538 |
| LIONBERGER, TAYLOR W | SALES DEVELOPMENT DIRECTOR | 5931321 |
| MCGOFF, SEAN PATRICK | CHIEF COUNSEL & SECRETARY | 5801826 |
| SANDELSKI, DENNIS JOSEPH | AVP, TAX | 7244469 |
| SMILEY, ERIC DAVID | VP, DIRECTOR OF OPERATIONS | 2978413 |
| SNYDER, DANIEL R | TREASURER | 7318687 |
| WEYER, SHAUN CHRISTOPHER | SALES DEVELOPMENT DIRECTOR | 4607359 |
| YANG, CHUANMING | CHIEF INFORMATION SECURITY OFFICER | 7527042 |
Regulatory assets under management
| Total Number of Accounts | 2,118 |
| AUM (Assets Under Management) | $ 299,940,768 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
